Advisor, Investment Advisory Supervision

Job Description Summary

Job Description

What You’ll Do

• Conduct risk-based supervisory reviews using multiple reports, systems, and information sources to identify trends, trading patterns, potential policy concerns, and possible regulatory issues.
• Evaluate trading activity in client accounts to determine whether it is consistent with the accounts’ objectives and relevant supervisory requirements.
• Support oversight of Independent Registered Investment Advisers and Corporate RIA-related activities, including reviews of regulatory filings, client agreements, advisory disclosures, and supervisory documentation.
• Document review results clearly, identify matters requiring additional research or follow-up, and track remediation through completion.
• Communicate directly with financial advisors, branch and sales management, and internal business partners regarding supervisory findings, required actions, and potential account-related concerns.
• Research complex supervision, compliance, and advisory-related questions and recommend practical, risk-informed solutions.
• Stay current on advisory regulations, industry developments, firm policies, and evolving supervisory expectations.
• Maintain and enhance supervisory procedures, desktop procedures, process maps, review templates, control documentation, and evidence-of-review standards.
• Help create consistent, repeatable, and auditable supervisory processes that strengthen the quality and effectiveness of the team’s work.
• Contribute to training initiatives by developing materials, coordinating training activities, maintaining records, and sharing technical knowledge with colleagues.
• Prepare and deliver clear written communications, review findings, presentations, and recommendations for technical and non-technical audiences.
• Serve as a technical resource to colleagues and business partners and provide guidance on defined supervisory processes and issues.
• Lead or contribute to projects of moderate scope and complexity that improve supervisory practices, documentation, or operational effectiveness.
• Perform other duties and responsibilities as assigned.

What You’ll Bring

Knowledge

• Working knowledge of investments, securities trading, industry regulations, and client suitability at a level consistent with Series 24 licensing expectations.
• Knowledge of the Investment Advisers Act, Form ADV, Form CRS, IARD, advisory agreements, disclosure obligations, fiduciary considerations, custody and asset-management concepts, advisory fees and compensation disclosures, and RIA supervisory frameworks.
• Understanding of supervisory and compliance considerations associated with financial advisor and branch-management trading activity.
• Familiarity with organizational policies, business practices, and the interaction between supervision, compliance, operations, and client-facing functions.
• General knowledge of office practices, procedures, and methods.

Skills

• Strong critical-thinking and decision-making skills, including the ability to interpret regulatory requirements and firm policies and apply them to specific facts and circumstances.
• Careful attention to detail, with the ability to identify inconsistencies and manage regulatory risk without unnecessarily disrupting business workflows.
• Strong written and verbal communication skills, including the ability to explain complex or sensitive supervisory concerns clearly and professionally.
• Effective research, analysis, documentation, and problem-solving skills.
• Proficiency with standard office equipment and software used to create correspondence, reports, spreadsheets, presentations, databases, and electronic communications.
• Professional and business-appropriate communication skills across phone, virtual, and written channels.

Abilities

• Independently organize and complete multiple assignments while managing changing priorities and deadlines.
• Review regulatory filings, client-facing disclosures, agreements, internal records, and supervisory evidence for accuracy, consistency, and alignment with policy and regulatory expectations.
• Evaluate available information, recognize when additional facts are needed, and make or recommend sound decisions.
• Communicate effectively and professionally with individuals at all organizational levels, including financial advisors, branch managers, sales management, and internal business partners.
• Establish clear priorities and provide practical direction when coordinating reviews, follow-up, or remediation.
• Build effective working relationships while maintaining independence, objectivity, and appropriate professional judgment.
• Deliver a high level of service while addressing supervisory concerns directly and constructively.

Competencies and Behaviors

The strongest candidates will demonstrate the following:

• Analysis: Identifies, researches, and interprets supervisory concerns by considering information from multiple systems, documents, reports, and stakeholders.
• Communication: Presents findings, questions, and recommendations clearly and professionally, adjusting the level of detail for different audiences.
• Judgment and Decision-Making: Applies regulatory knowledge, firm policy, available facts, and potential risk to reach or recommend practical, well-supported conclusions.
• Technical and Professional Knowledge: Builds and maintains expertise in advisory supervision, securities regulation, RIA oversight, trading activity, and related supervisory controls.
• Building Effective Relationships: Develops trusted working relationships across Advisory Supervision and with advisors, sales management, Compliance, and other internal partners.
• Ownership and Accountability: Takes responsibility for assigned reviews and projects, follows matters through resolution, and produces complete and reliable documentation.
• Continuous Improvement: Identifies opportunities to strengthen procedures, templates, controls, and workflows while supporting consistency and auditability.
• Adaptability: Responds effectively to changing priorities, new regulatory expectations, and complex fact patterns while maintaining focus on quality and risk management.

Educational/Previous Experience Recommendations:

• Bachelor’s degree (B.A) in a related discipline and a minimum of two (2) years of experience in Supervision and/or the financial services industry.
~or~
• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:

• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.

• SIE required provided that an exemption or grandfathering cannot be applied.
• Required to have a Series 7, 24 and 66
• Series 7 and 65 can be used instead of the 66
• Applicable designation or CFP can be used instead of the 66 and must be in good standing

Education

Work Experience

Certifications

Travel

Workstyle

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. 

We expect our associates at all levels to:
•  Grow professionally and inspire others to do the same
•  Work with and through others to achieve desired outcomes
•  Make prompt, pragmatic choices and act with the client in mind
•  Take ownership and hold themselves and others accountable for delivering results that matter
•  Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.  When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.